LPL Financial
Company Details
Linkedin ID:
lpl-financial
Website:
Employees number:
14,111
Number of followers:
154,744
NAICS:
52
Industry Type:
Homepage:
lpl.com
IP Addresses:
0
Company ID:
LPL_1620284
Scan Status:
In-progress
LPL Financial Company CyberSecurity Posture
lpl.com
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
LPL Financial A.I CyberSecurity Scoring
LPL Financial Risk Score (AI oriented)Between 750 and 799
LPL Financial
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LPL Financial Global Score (TPRM)XXXX
LPL Financial
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LPL Financial Company CyberSecurity News & History
Past Incidents
4
Attack Types
1
LPL Financial
Breach
Rankiteo Explanation
Attack limited on finance or reputation
Description: The Massachusetts Office of Consumer Affairs and Business Regulation reported a data breach involving LPL Financial on September 23, 2011. The breach affected 1 resident and involved paper records, specifically compromising account numbers.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack limited on finance or reputation
Description: The California Office of the Attorney General reported a data breach involving LPL Financial LLC on November 17, 2018. The breach occurred on November 1, 2018, and was caused by unauthorized access to a user's account of their service provider, Capital Forensics, potentially exposing personal information including names, account numbers, and Social Security Numbers.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack with significant impact with internal employee data leaks
Description: The California Office of the Attorney General reported a data breach involving LPL Financial on February 29, 2012. The breach occurred on February 6, 2012, due to the theft of an employee's desktop computer, potentially exposing personal information including names, Social Security numbers, and financial information of affected individuals; the number of affected individuals is unknown.
LPL Financial LLC
Breach
Rankiteo Explanation
Attack with significant impact with customers data leaks
Description: The Washington State Office of the Attorney General disclosed a data breach involving LPL Financial LLC, where an unauthorized party gained access to an advisor's email account between **July 26 and July 28, 2021**. The incident, reported on **September 30, 2021**, impacted **992 Washington residents**, exposing highly sensitive personal information. Compromised data included **names, Social Security Numbers (SSNs), financial and banking details, health insurance information, and medical records**. The breach stemmed from a targeted compromise of an employee’s email account, likely through phishing or credential theft, enabling attackers to exfiltrate confidential client data. Given the nature of the exposed information—particularly SSNs and financial records—the incident poses severe risks of **identity theft, financial fraud, and long-term reputational harm** to both the affected individuals and LPL Financial. The breach underscores vulnerabilities in email security protocols and the critical need for robust access controls, especially in sectors handling sensitive client data. While the exact motive (e.g., financial gain, espionage) remains undisclosed, the scale and sensitivity of the leaked data classify this as a high-severity incident with potential regulatory and legal repercussions under data protection laws like **HIPAA (for medical data) and state breach notification statutes**.
LPL Financial Company Scoring based on AI Models
Cyber Incidents Likelihood 3 - 6 - 9 months
A.I Risk Score Likelihood 3 - 6 - 9 months
Underwriter Stats for LPL Financial
Incidents vs Financial Services Industry Average (This Year)
No incidents recorded for LPL Financial in 2025.
Incidents vs All-Companies Average (This Year)
No incidents recorded for LPL Financial in 2025.
Incident Types LPL Financial vs Financial Services Industry Avg (This Year)
No incidents recorded for LPL Financial in 2025.
Incident History — LPL Financial (X = Date, Y = Severity)
LPL Financial cyber incidents detection timeline including parent company and subsidiaries
LPL Financial Company Subsidiaries
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
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LPL Financial CyberSecurity News
November 10, 2025 05:12 PM
LPL’s growth strategy; Edward Jones’ new ownership plans; Merrill’s lofty asset targets
October 23, 2025 07:00 AM
Shawn Gentle of Gentle Family Wealth Partners Joins LPL Financial’s Broker-Dealer and RIA Platform
Shawn Gentle joins LPL Financial, bringing 37 years of experience and managing approximately $280 mi.
October 23, 2025 07:00 AM
Gentle Family Wealth Partners joins LPL Financial (NASDAQ: LPLA) with $280M assets
Shawn Gentle joins LPL's broker-dealer and RIA platform with ~$280M in client assets after Raymond James, bringing 37 years of experience.
October 23, 2025 07:00 AM
LPL Financial Welcomes Gentle Family Wealth Partners
SAN DIEGO, Oct. 23, 2025 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that Shawn Gentle, AIF® of Gentle Family Wealth Partners has...
October 23, 2025 07:00 AM
Envestnet Portfolio Solutions Inc. Sells 357 Shares of Amplify Cybersecurity ETF $HACK
Read Envestnet Portfolio Solutions Inc. Sells 357 Shares of Amplify Cybersecurity ETF $HACK at Defense World.
July 03, 2025 07:00 AM
Judges dismiss fiduciary angle in LPL, Wells lawsuits; how to boost wealth for Black Americans; tech for RIA cybersecurity
June 09, 2025 07:00 AM
Balancing cybersecurity and client experience for high-net-worth clients
Renana Friedlich-Barsky, EVP and CISO at LPL Financial, discusses how threat actors are targeting high-net-worth clients and exploiting digital touchpoints in...
May 28, 2025 07:00 AM
Fintech bytes: Zocks lands Commonwealth partnership, Visory powers cybersecurity for Modern Wealth
The two wealth tech firms are continuing to expand their reach among firms as they support advisor productivity and client data protection.
May 22, 2025 07:00 AM
LPL and Momentum Wealth Partners Welcome Beacon Financial
LPL Financial announced today that Beacon Financial has joined LPL's broker-dealer, Registered Investment Advisor (RIA) and custodial...
Frequently Asked Questions
Explore insights on cybersecurity incidents, risk posture, and Rankiteo's assessments.
LPL Financial CyberSecurity History Information
Official Website of LPL Financial
The official website of LPL Financial is https://www.lpl.com/.
LPL Financial’s AI-Generated Cybersecurity Score
According to Rankiteo, LPL Financial’s AI-generated cybersecurity score is 768, reflecting their Fair security posture.
How many security badges does LPL Financial’ have ?
According to Rankiteo, LPL Financial currently holds 0 security badges, indicating that no recognized compliance certifications are currently verified for the organization.
Does LPL Financial have SOC 2 Type 1 certification ?
According to Rankiteo, LPL Financial is not certified under SOC 2 Type 1.
Does LPL Financial have SOC 2 Type 2 certification ?
According to Rankiteo, LPL Financial does not hold a SOC 2 Type 2 certification.
Does LPL Financial comply with GDPR ?
According to Rankiteo, LPL Financial is not listed as GDPR compliant.
Does LPL Financial have PCI DSS certification ?
According to Rankiteo, LPL Financial does not currently maintain PCI DSS compliance.
Does LPL Financial comply with HIPAA ?
According to Rankiteo, LPL Financial is not compliant with HIPAA regulations.
Does LPL Financial have ISO 27001 certification ?
According to Rankiteo,LPL Financial is not certified under ISO 27001, indicating the absence of a formally recognized information security management framework.
Industry Classification of LPL Financial
LPL Financial operates primarily in the Financial Services industry.
Number of Employees at LPL Financial
LPL Financial employs approximately 14,111 people worldwide.
Subsidiaries Owned by LPL Financial
LPL Financial presently has no subsidiaries across any sectors.
LPL Financial’s LinkedIn Followers
LPL Financial’s official LinkedIn profile has approximately 154,744 followers.
NAICS Classification of LPL Financial
LPL Financial is classified under the NAICS code 52, which corresponds to Finance and Insurance.
LPL Financial’s Presence on Crunchbase
No, LPL Financial does not have a profile on Crunchbase.
LPL Financial’s Presence on LinkedIn
Yes, LPL Financial maintains an official LinkedIn profile, which is actively utilized for branding and talent engagement, which can be accessed here: https://www.linkedin.com/company/lpl-financial.
Cybersecurity Incidents Involving LPL Financial
As of November 27, 2025, Rankiteo reports that LPL Financial has experienced 4 cybersecurity incidents.
Number of Peer and Competitor Companies
LPL Financial has an estimated 29,525 peer or competitor companies worldwide.
What types of cybersecurity incidents have occurred at LPL Financial ?
Incident Types: The types of cybersecurity incidents that have occurred include Breach.
How does LPL Financial detect and respond to cybersecurity incidents ?
Detection and Response: The company detects and responds to cybersecurity incidents through an communication strategy with public disclosure via washington state attorney general..
Incident Details
Can you provide details on each incident ?
Title: Data Breach at LPL Financial
Description: The Massachusetts Office of Consumer Affairs and Business Regulation reported a data breach involving LPL Financial on September 23, 2011. The breach affected 1 resident and involved paper records, specifically compromising account numbers.
Date Detected: 2011-09-23
Date Publicly Disclosed: 2011-09-23
Type: Data Breach
Title: Data Breach at LPL Financial LLC
Description: The California Office of the Attorney General reported a data breach involving LPL Financial LLC on November 17, 2018. The breach occurred on November 1, 2018, and was caused by unauthorized access to a user's account of their service provider, Capital Forensics, potentially exposing personal information including names, account numbers, and Social Security Numbers.
Date Detected: 2018-11-01
Date Publicly Disclosed: 2018-11-17
Type: Data Breach
Attack Vector: Unauthorized Access
Vulnerability Exploited: User Account
Title: Data Breach at LPL Financial
Description: The California Office of the Attorney General reported a data breach involving LPL Financial on February 29, 2012. The breach occurred on February 6, 2012, due to the theft of an employee's desktop computer, potentially exposing personal information including names, Social Security numbers, and financial information of affected individuals; the number of affected individuals is unknown.
Date Detected: 2012-02-06
Date Publicly Disclosed: 2012-02-29
Type: Data Breach
Attack Vector: Theft of Employee's Desktop Computer
Title: LPL Financial LLC Data Breach (2021)
Description: The Washington State Office of the Attorney General reported a data breach by LPL Financial LLC on September 30, 2021, involving unauthorized access to an advisor's email account from July 26 to July 28, 2021. The breach affected 992 Washington residents, potentially exposing several types of personal information including names, Social Security Numbers, financial and banking information, health insurance information, and medical information.
Date Detected: 2021-07-28
Date Publicly Disclosed: 2021-09-30
Type: Data Breach
Attack Vector: Unauthorized Email Access
What are the most common types of attacks the company has faced ?
Common Attack Types: The most common types of attacks the company has faced is Breach.
How does the company identify the attack vectors used in incidents ?
Identification of Attack Vectors: The company identifies the attack vectors used in incidents through User Account and Advisor's Email Account.
Impact of the Incidents
What was the impact of each incident ?
Incident : Data Breach LPL431070825
Data Compromised: Account Numbers
Incident : Data Breach LPL814072625
Data Compromised: Names, Account numbers, Social security numbers
Incident : Data Breach LPL604072725
Data Compromised: Names, Social security numbers, Financial information
Incident : Data Breach LPL1010090725
Data Compromised: Names, Social security numbers, Financial and banking information, Health insurance information, Medical information
Systems Affected: Advisor's Email Account
Identity Theft Risk: High (PII exposed)
Payment Information Risk: High (Financial/Banking Information exposed)
What types of data are most commonly compromised in incidents ?
Commonly Compromised Data Types: The types of data most commonly compromised in incidents are Account Numbers, Names, Account Numbers, Social Security Numbers, , Names, Social Security Numbers, Financial Information, , Personally Identifiable Information (Pii), Financial Data, Health Information and .
Which entities were affected by each incident ?
Incident : Data Breach LPL431070825
Entity Name: LPL Financial
Entity Type: Company
Industry: Financial Services
Location: Massachusetts
Customers Affected: 1
Incident : Data Breach LPL814072625
Entity Name: LPL Financial LLC
Entity Type: Financial Services
Industry: Finance
Incident : Data Breach LPL604072725
Entity Name: LPL Financial
Entity Type: Financial Services
Industry: Finance
Incident : Data Breach LPL1010090725
Entity Name: LPL Financial LLC
Entity Type: Financial Services
Industry: Wealth Management
Location: USA (Washington residents affected)
Customers Affected: 992
Response to the Incidents
What measures were taken in response to each incident ?
Incident : Data Breach LPL1010090725
Communication Strategy: Public disclosure via Washington State Attorney General
Data Breach Information
What type of data was compromised in each breach ?
Incident : Data Breach LPL431070825
Type of Data Compromised: Account Numbers
Number of Records Exposed: 1
File Types Exposed: Paper Records
Incident : Data Breach LPL814072625
Type of Data Compromised: Names, Account numbers, Social security numbers
Sensitivity of Data: High
Incident : Data Breach LPL604072725
Type of Data Compromised: Names, Social security numbers, Financial information
Personally Identifiable Information: NamesSocial Security numbers
Incident : Data Breach LPL1010090725
Type of Data Compromised: Personally identifiable information (pii), Financial data, Health information
Number of Records Exposed: 992
Sensitivity of Data: High
Data Exfiltration: Likely (email access implies potential exfiltration)
File Types Exposed: EmailsAttachments (likely)
Personally Identifiable Information: NamesSocial Security NumbersFinancial/Banking DetailsHealth Insurance InformationMedical Information
Regulatory Compliance
Were there any regulatory violations and fines imposed for each incident ?
Incident : Data Breach LPL1010090725
Regulatory Notifications: Washington State Attorney General
References
Where can I find more information about each incident ?
Incident : Data Breach LPL431070825
Source: Massachusetts Office of Consumer Affairs and Business Regulation
Incident : Data Breach LPL814072625
Source: California Office of the Attorney General
Date Accessed: 2018-11-17
Incident : Data Breach LPL604072725
Source: California Office of the Attorney General
Incident : Data Breach LPL1010090725
Source: Washington State Office of the Attorney General
Date Accessed: 2021-09-30
Where can stakeholders find additional resources on cybersecurity best practices ?
Additional Resources: Stakeholders can find additional resources on cybersecurity best practices at and Source: Massachusetts Office of Consumer Affairs and Business Regulation, and Source: California Office of the Attorney GeneralDate Accessed: 2018-11-17, and Source: California Office of the Attorney General, and Source: Washington State Office of the Attorney GeneralDate Accessed: 2021-09-30.
Investigation Status
How does the company communicate the status of incident investigations to stakeholders ?
Communication of Investigation Status: The company communicates the status of incident investigations to stakeholders through Public disclosure via Washington State Attorney General.
Initial Access Broker
How did the initial access broker gain entry for each incident ?
Incident : Data Breach LPL814072625
Entry Point: User Account
Incident : Data Breach LPL1010090725
Entry Point: Advisor's Email Account
High Value Targets: Client Pii, Financial Data,
Data Sold on Dark Web: Client Pii, Financial Data,
Post-Incident Analysis
What were the root causes and corrective actions taken for each incident ?
Incident : Data Breach LPL814072625
Root Causes: Unauthorized Access to User Account
Additional Questions
Incident Details
What was the most recent incident detected ?
Most Recent Incident Detected: The most recent incident detected was on 2011-09-23.
What was the most recent incident publicly disclosed ?
Most Recent Incident Publicly Disclosed: The most recent incident publicly disclosed was on 2021-09-30.
Impact of the Incidents
What was the most significant data compromised in an incident ?
Most Significant Data Compromised: The most significant data compromised in an incident were Account Numbers, Names, Account Numbers, Social Security Numbers, , Names, Social Security numbers, Financial information, , Names, Social Security Numbers, Financial and Banking Information, Health Insurance Information, Medical Information and .
What was the most significant system affected in an incident ?
Most Significant System Affected: The most significant system affected in an incident was Advisor's Email Account.
Data Breach Information
What was the most sensitive data compromised in a breach ?
Most Sensitive Data Compromised: The most sensitive data compromised in a breach were Names, Social Security Numbers, Financial information, Health Insurance Information, Medical Information, Financial and Banking Information, Social Security numbers and Account Numbers.
What was the number of records exposed in the most significant breach ?
Number of Records Exposed in Most Significant Breach: The number of records exposed in the most significant breach was 993.0.
References
What is the most recent source of information about an incident ?
Most Recent Source: The most recent source of information about an incident are Massachusetts Office of Consumer Affairs and Business Regulation, Washington State Office of the Attorney General and California Office of the Attorney General.
Initial Access Broker
What was the most recent entry point used by an initial access broker ?
Most Recent Entry Point: The most recent entry point used by an initial access broker were an User Account and Advisor's Email Account.
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Latest Global CVEs (Not Company-Specific)
Description
Angular is a development platform for building mobile and desktop web applications using TypeScript/JavaScript and other languages. Prior to versions 19.2.16, 20.3.14, and 21.0.1, there is a XSRF token leakage via protocol-relative URLs in angular HTTP clients. The vulnerability is a Credential Leak by App Logic that leads to the unauthorized disclosure of the Cross-Site Request Forgery (XSRF) token to an attacker-controlled domain. Angular's HttpClient has a built-in XSRF protection mechanism that works by checking if a request URL starts with a protocol (http:// or https://) to determine if it is cross-origin. If the URL starts with protocol-relative URL (//), it is incorrectly treated as a same-origin request, and the XSRF token is automatically added to the X-XSRF-TOKEN header. This issue has been patched in versions 19.2.16, 20.3.14, and 21.0.1. A workaround for this issue involves avoiding using protocol-relative URLs (URLs starting with //) in HttpClient requests. All backend communication URLs should be hardcoded as relative paths (starting with a single /) or fully qualified, trusted absolute URLs.
Risk Information
cvss4
Base: 7.7
Severity: LOW
CVSS:4.0/AV:N/AC:L/AT:N/PR:N/UI:N/VC:N/VI:N/VA:N/SC:H/SI:N/SA:N/E:X/CR:X/IR:X/AR:X/MAV:X/MAC:X/MAT:X/MPR:X/MUI:X/MVC:X/MVI:X/MVA:X/MSC:X/MSI:X/MSA:X/S:X/AU:X/R:X/V:X/RE:X/U:X
References
- https://github.com/angular/angular/commit/0276479e7d0e280e0f8d26fa567d3b7aa97a516f
- https://github.com/angular/angular/commit/05fe6686a97fa0bcd3cf157805b3612033f975bc
- https://github.com/angular/angular/commit/3240d856d942727372a705252f7c8c115394a41e
- https://github.com/angular/angular/releases/tag/19.2.16
- https://github.com/angular/angular/releases/tag/20.3.14
- https://github.com/angular/angular/releases/tag/21.0.1
- https://github.com/angular/angular/security/advisories/GHSA-58c5-g7wp-6w37
Description
Forge (also called `node-forge`) is a native implementation of Transport Layer Security in JavaScript. An Uncontrolled Recursion vulnerability in node-forge versions 1.3.1 and below enables remote, unauthenticated attackers to craft deep ASN.1 structures that trigger unbounded recursive parsing. This leads to a Denial-of-Service (DoS) via stack exhaustion when parsing untrusted DER inputs. This issue has been patched in version 1.3.2.
Risk Information
cvss4
Base: 8.7
Severity: LOW
CVSS:4.0/AV:N/AC:L/AT:N/PR:N/UI:N/VC:N/VI:N/VA:H/SC:N/SI:N/SA:N/E:X/CR:X/IR:X/AR:X/MAV:X/MAC:X/MAT:X/MPR:X/MUI:X/MVC:X/MVI:X/MVA:X/MSC:X/MSI:X/MSA:X/S:X/AU:X/R:X/V:X/RE:X/U:X
Description
Forge (also called `node-forge`) is a native implementation of Transport Layer Security in JavaScript. An Integer Overflow vulnerability in node-forge versions 1.3.1 and below enables remote, unauthenticated attackers to craft ASN.1 structures containing OIDs with oversized arcs. These arcs may be decoded as smaller, trusted OIDs due to 32-bit bitwise truncation, enabling the bypass of downstream OID-based security decisions. This issue has been patched in version 1.3.2.
Risk Information
cvss4
Base: 6.3
Severity: LOW
CVSS:4.0/AV:N/AC:L/AT:P/PR:N/UI:N/VC:N/VI:L/VA:N/SC:N/SI:N/SA:N/E:X/CR:X/IR:X/AR:X/MAV:X/MAC:X/MAT:X/MPR:X/MUI:X/MVC:X/MVI:X/MVA:X/MSC:X/MSI:X/MSA:X/S:X/AU:X/R:X/V:X/RE:X/U:X
Description
Suricata is a network IDS, IPS and NSM engine developed by the OISF (Open Information Security Foundation) and the Suricata community. Prior to versions 7.0.13 and 8.0.2, working with large buffers in Lua scripts can lead to a stack overflow. Users of Lua rules and output scripts may be affected when working with large buffers. This includes a rule passing a large buffer to a Lua script. This issue has been patched in versions 7.0.13 and 8.0.2. A workaround for this issue involves disabling Lua rules and output scripts, or making sure limits, such as stream.depth.reassembly and HTTP response body limits (response-body-limit), are set to less than half the stack size.
Risk Information
cvss3
Base: 7.5
Severity: LOW
CVSS:3.1/AV:N/AC:L/PR:N/UI:N/S:U/C:N/I:N/A:H
Description
Suricata is a network IDS, IPS and NSM engine developed by the OISF (Open Information Security Foundation) and the Suricata community. In versions from 8.0.0 to before 8.0.2, a NULL dereference can occur when the entropy keyword is used in conjunction with base64_data. This issue has been patched in version 8.0.2. A workaround involves disabling rules that use entropy in conjunction with base64_data.
Risk Information
cvss3
Base: 7.5
Severity: LOW
CVSS:3.1/AV:N/AC:L/PR:N/UI:N/S:U/C:N/I:N/A:H
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Identify exposed access points, detect misconfigured SSL certificates, and uncover vulnerabilities across the network infrastructure.
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Gain visibility into the software components used within an organization to detect vulnerabilities, manage risk, and ensure supply chain security.
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Monitor and manage all IT assets and their configurations to ensure accurate, real-time visibility across the company's technology environment.
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Leverage real-time insights on active threats, malware campaigns, and emerging vulnerabilities to proactively defend against evolving cyberattacks.
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